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Whistleblowing, Securities Violations and the SEC Award Process

  • ACCT/BK
  • AFSP
  • CRTP
  • CPA (US)
  • EA
  • ORTP
  • Maryland Tax Prep.
  • CFIRS
  • CWS
  • Course Description
  • Course Qualification
  • Presenter
  • FAQ

Course Description

Course Description

There is a trust deficit in the business world. The corporate landscape is riddled with scandal and malfeasance, from CEO misconduct to investor fraud.

The U.S. Securities Exchange Commission (SEC) is laser-focused on investor protection and has signaled its intent to scrutinize a range of issues from cryptocurrency to enhanced ESG disclosures and greater regulation of private funds.

One of the tools in its investor protection arsenal is the Whistleblower Program which was established 12 years ago. Under the Program, the Commission is required to pay awards to whistleblowers who provide original information in connection with violations of federal securities laws. Since its inception, the Commission has awarded more than $1.1billion.

This online CE/CPE tax course will provide an overview of the Whistleblower Program, its regulatory framework, how it works, recent changes, the award process, and recent enforcement actions.

Learning Objectives

  • To explore the submission requirements for whistleblower claims.
  • To analyze how to determine whistleblower award amounts.
  • To provide a roadmap of the award process.
  • To discuss recent whistleblower enforcement actions.

Recommended For

  • This online IRS-approved CE course is recommended for CPA, EA, AFSP, CRTP, MRTP, ORTP, CFIRS, CWS, and other professionals who want to understand Whistleblower Program, its regulatory framework, how it works, recent changes, the award process, and recent enforcement actions

Who Should Attend?

  • California Registered Tax Professional
  • Certified Public Accountant (CPA)
  • CPA - Large Firm
  • CPA - Mid Size Firm
  • CPA - Small Firm
  • Enrolled Agent
  • Maryland Tax Preparers
  • Oregon Tax Preparers
  • Tax Preparer
  • Tax Professionals
  • Young CPA

Course Qualification

Webinar Qualifies For

  • 1 General Credit for Accountant/Bookkeeper (ACCT./BK)
  • 1 CE Credit for Annual Filing Season Program (AFSP)
  • 1 CE Credit of Federal tax-related matters for California Registered Tax Preparers (CRTP) (Approval No. 6273-CE-0926)
  • 1 CPE Credit of Taxes for Certified Public Accountants (CPA-US)
  • 1 CE Credit of Federal tax-related matters for Enrolled Agents (EA) (Approval No. GEHNZ-T-01104-22-O)
  • 1 CE Credit of Federal tax-related matters for Maryland Tax Preparer (MRTP) (Approval No. GEHNZ-T-01104-22-O)
  • 1 CE Credit for Certified Fiduciary & Investment Risk Specialist (CFIRS)
  • 1 CE Credit for Certified Wealth Strategist (CWS)
  • 1 CE Credit of Federal tax-related matters for Oregon Registered Tax Preparers (ORTP) (Approval No. GEHNZ-T-01104-22-O)

Additional details

  • Course Level :
    Basic
  • Credits :
    1
  • Instructional Method :
    Group Internet Based
  • Pre-requisites :
    None
  • Advance Preparation :
    None

IRS APPROVED

MY-CPE LLC, 1600 Highway 6 south, suite 250, sugar land, TX, 77478

MY-CPE LLC (Sponsor Id#: GEHNZ) has entered into an agreement with the Internal Revenue Service, to meet the requirements of 31 Code of Federal Regulations, section 10.6(g), covering maintenance of attendance records, retention of program outlines, qualifications of instructors, and length of class hours. This agreement does not constitute an endorsement by the IRS as to the quality of the program or its contribution to the professional competence of the enrolled individual. Credit earned by attendees with a PTIN will be reported directly to the IRS as required of all providers. To ensure your CPE hours are reported, update your profile in My Account to include your PTIN number. Please note: IRS CE is only mandatory for EAs and ERPAs. For all other tax return preparers, CE is voluntary.

NASBA APPROVED

MY-CPE LLC, 1600 Highway 6 south, suite 250, sugar land, TX, 77478

MY-CPE LLC (Sponsor Id#: 143597) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.NASBARegistry.org.

CTEC APPROVED

MY-CPE LLC, 1600 Highway 6 south, suite 250, sugar land, TX, 77478

MY-CPE LLC (Sponsor ID# : 6273) has been approved by the California Tax Education Council to offer continuing education courses that count as credit towards the annual “continuing education” requirement imposed by the State of California for CTEC Registered Tax Preparers. A listing of additional requirements to register as a tax preparer may be obtained by contacting CTEC at P.O. Box 2890, Sacramento, CA, 95812-2890, toll-free by phone at (877) 850-2832, or on the Internet at www.ctec.org.

Presenter

About Presenter

Pamela Harper

Member, Griesing Law, LLC

Griesing Law, LLC – May 2017 to Present

Member, Chair of Corporate Transactions & Compliance and Government & Regulatory Affairs Practice GroupsRepresents and provides strategic advice to clients in connection with regulatory, compliance and corporate governance-related matters, particularly within the legal, non-profit and financial services sectors. Expertise in risk management and public policy. Drafts and updates client’s corporate compliance policies; advises educational institutions on  Title IX compliance; conducts sensitive confidential investigations and prepares investigative findings and recommendations for allegations of discrimination, harassment and retaliation. Conducts training and  cultural audits for in-house teams on diversity and inclusion, corporate culture and elimination of bias.  Highly sought speaker and writer on groundbreaking issues and lessons learned from high profile corporate scandals. Certified Compliance & Ethics Professional (CCEP) by the Compliance Certification Board.

 

GriesingMazzeo Leadership, LLC – June 2019 to PresenFacilitator – Offers diversity and inclusion training and professional coaching to small businesses, middle market companies and diverse-owned businesses. Provides training and human resources advice on sexual harassment, elimination of bias, hiring and firing employees, maternity and FMLA leave, race and gender discrimination, LGBTQ rights, accommodations for disabled veterans and properly classifying independent contractors.

 

MFR Consultants, Inc. – 2004 to April 2017

Chief Operating Officer and General Counsel – Supervised and oversaw daily management of information technology consulting firm’s operations. Established enterprise-wide risk management program, monitoring financial, operational, legal, and infrastructure risks. Developed corporate business continuity plan (BCP). Constructed contract management protocols to enhance internal operations infrastructure. Developed and implemented corporate branding strategy to enhance external visibility and employee engagement. Reviewed, negotiated and oversaw administration and compliance of contractual agreements. Collaborated with CEO and liaised with outside legal counsel. Developed policies and procedures governing human capital management. Implemented corporate strategic plan. Developed and administered corporate Code of Business Conduct and Ethics.

StoneRidge Investment Partners – 2009 to 2014

Chief Operating Officer and Compliance Officer – Supervised and oversaw the daily management of asset management firm’s legal and compliance program as well as interpreting and applying the rules and regulations promulgated under the Investment Advisor Act of 1940. Established and chaired the Risk Assessment Committee which identified, documented and mitigated business, operational and regulatory risk, enterprise-wide. Monitored financial regulatory and legislative developments affecting the asset management industry and conducted regulatory analysis. Developed cybersecurity plan with IT department. Designed and enhanced the firm’s forensic testing policies and procedures to ensure compliance with federal regulations. Ensured compliance with client investment restrictions and guidelines. Instituted third-party mock audit and oversaw implementation of suggested recommendations. Acted as the primary liaison with Legal Counsel; reviewed all legal documents as well as third-party contracts, and served as the Assistant Secretary to the Board of Directors. Performed all due diligence in connection with investor syndicate-related acquisition candidates. Developed multiple policies and procedures, including those relating to political contributions, third party due diligence, marketing and whistleblower protocols. Ensured the firm’s compliance with SEC regulations; conducted annual compliance reviews and risk assessments; developed new policies/procedures in response to regulatory mandates; and oversaw the submission of all federal regulatory filings (ADV, 13F, etc.).

 

The Harper Group – 2003 to 2009

Principal Senior Advisor affiliated with EConsult, an econometrics firm; Advised government entities, higher education institutions and closely-held businesses on public policy matters.

 

PA Consulting/GKMG – 1997 to 2003

Principal – As Principal of management consulting firm, worked with multiple internal practice teams on multi-disciplinary projects and was responsible for advising clients on market penetration strategies, comparative governance structures, Middle Eastern/North African bilateral and multilateral trade agreements and foreign investment laws and regulations.

 

Philadelphia Airport System – 1988 to 1997

Deputy Director of Aviation, Marketing & Government Affairs – Reported to the Director of Aviation and managed a staff of 100. Responsible for the management and implementation of the airport’s marketing initiatives and external affairs. Responsibilities included:


Government and Regulatory Affairs: Monitored regulatory and legislative developments; advocated  on behalf of the airport on regulatory matters in connection with airfield expansion, terminal  and air service development ; acted as the liaison with lobbyists to formulate the Airport’s position on regulatory and legislative matters. Briefed the Tri-State delegation and prepared white papers on regulatory, aeropolitical, public policy and capital funding matters.


Public Affairs/Marketing: Initiated new airport identity campaign and directed branding activity; developed collateral materials; oversaw market research; managed third-party agency relationships; developed public participation programs in connection with capital expansion projects in excess of $200 million; developed communication strategies for environmentally sensitive projects; primary liaison with all external stakeholders, including but not limited to elected officials, corporations and economic development agencies.


Business Development: Oversaw development and implementation of strategy to attract and expand international air service from Philadelphia to Munich, Frankfurt, London and Mexico City; coordinated stakeholder campaign in connection with the US-Italy route proceeding, leading to non-stop service to Rome. 


AFFILIATIONS


  • Bar Admission: United States District Court, Eastern District of Pennsylvania; Commonwealth of Pennsylvania.
  • Professional Recognition: The Legal Intelligencer, Unsung Heroes Award, 2021; Minority Enterprise Advocate Magazine 50 Influential Minorities in Business, 2004
  • Community Leadership: Arthur Ross Gallery, Board of Directors; National Society of Compliance Professionals, Member; Society of Corporate Compliance and Ethics Professionals, Member. Previously held leadership positions and been actively involved in multiple civic, professional and philanthropic organizations including the Center for Emerging Visual Artists (CFEVA), The Forum of Executive Women, National Association of Securities Professionals, Philadelphia International Airport, Princeton Club of New York, Center for Architecture + Design, Atwater Kent Museum, Balch Institute of Ethnic Studies, First Person Arts, Ensemble du Monde (New York) and International House of Philadelphia.

 EDUCATION


  • University of Pennsylvania Law School, J.D.
  • The Wharton School, University of Pennsylvania, M.B.A.
  • Princeton University, A.B., cum laude

About Company

Griesing Law, LLC

www.griesinglaw.com

Griesing Law is the preeminent team of diverse lawyers committed to personal attention with proven results. We aggressively advocate complex matters with integrity, purpose and efficiency. Together, we care about our people, our clients and our communities.

Our firm is a women-owned and operated law firm with offices in Philadelphia, Bucks County (PA), New York and Cincinnati. We represent Fortune 500 corporations, government entities, closely-held companies, non-profits, and individuals in alternative dispute resolution, complex commercial litigation, corporate transactions, employment, family law, government affairs, hospitality, technology, trusts and estates, and workers’ compensation matters. We also provide diversity and inclusion training to our clients. Prior to launching Griesing Law, LLC, the founding team worked at top AmLaw 100 firms. Our lawyers are licensed to practice in AZ, KY, NJ, NY, OH, PA & SC.

Faq

FAQs content

  • To receive Continuing Education credit for the event, you must register for the webcast prior to the start of each program.
  • Continuing Education Credit Certificate is available to all eligible participants within 24 hours of each webinar.
  • You must attend complete live webinar and respond to all polling questions asked during the webinar. Credits would be issued on 50 minute credit hour basis.
  • Polling feature Not supported: If you are logging in through browser or web portal in the browser (zoom.us) it doesn’t support the polling feature. Please be advised the current polling feature can only be supported via Zoom desktop and mobile app. You can check the same here : https://support.zoom.us/hc/en-us/articles/203749865-Polling-for-webinars
  • This event may be a recorded rebroadcast of a live event done in past and the instructor will be available to answer your questions during/after the webinar.
  • If you still face the polling problem please don’t panic and provide your response in the chat and we shall consider the same for processing for credits. You can download Zoom by clicking on the mentioned link : https://zoom.us/download
  • Our courses meet the global Continuing Professional Development (CPD-IES7) Standard for Chartered Accountants with International Education Standard 7 (IES 7) set by The International Federation of Accountants (IFAC), the International Accounting Education Standards Board (IAESB) and the Association of Chartered Certified Accountants (ACCA). Based on our accreditation by existing IFAC members and affiliates, we believe learners can count their professionally relevant, verifiable learning activities on myCPE, including taking on demand courses and attending live webinars, toward fulfillment of their verifiable CPD-IES7 requirements. However, if there is any question, we recommend that the individual learner confirm with his/her professional licensing organization before taking myCPE courses for CPD-IES7 credit.
  • You can manage your continuing education certificates and credits through your certificate dashboard which is available when you are logged in to your account (LOGIN)
  • As an accredited provider of Continuing Professional Education in the United States, myCPE online learning platform, courses, and webinars meet the requirements set forth by the Institute of Management Accountants (IMA), an IFAC Member Organization, as well as the National State Boards of Accountancy (NASBA) and the Institute of Internal Auditors (IIA), both IFAC Affiliates. As well as it has been approved by NASBA, Internal Revenue Service (IRS), Certified Financial Planner Board (CFP Board), California Tax Education Council (CTEC), Society of Human Resource Professional (SHRM), Human Resource Certification Institute (HRCI) and many more.Therefore, we believe learners can count their professionally relevant, verifiable learning activities on myCPE, including taking on demand courses and attending live webinars, toward fulfillment of their verifiable continuing education requirement as CPD-IES7 requirements. However, if there is any question, we recommend that the individual learner confirm with his/her professional licensing organization before taking myCPE courses for CPD-IES7 credit.
  • myCPE Courses are taken by : CPA | CMA | CFE | CIA | CPA(Yellow Book)| CFP | CFA | CPA (Govt.) | EA | CRTP | MRTP | ORTP | ABV | CITP | CVA | PFS | CFF and others.

Ratings and Review

4.3

4 Ratings

Excellent

1

Very Good

3

Average

0

Poor

0

Terrible

0

PDV

Philippe De Vendegies, Others

May 5th, 2022

The SEC is an important Government Institution

KK

Kevin Kennelly, EA

May 5th, 2022

The audio was garbled five times and gone four times. The Zoom connection was lost 4 times. Otherwise, the class was great!

Whistleblowing, Securities Violations and the SEC Award Process

$10

1 Credit

Subject Area

Taxes

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